N.A.S.D. AWARD 2RTICHAL ASSOCIATION OF SECURITIES In the itotter of the Arbitration Between of 91-01614 Of Blunt Ellis & loewi IncsorporatecT CF PB*crir%3 Claimant was represented by Diane Nygaard, Esq., Overland Park, Kansas. Respondent was represented by Michael H. Schaalman, Esq. of Quarles & Brady, Milwaukeee, Wisconsin. The Statement of Claim vas filed en or about May 23, daimant* s Submission Agreement signed on May 6, 1991. St

Arbitration ASSOCTATICW CEP N.A.S.D. AWARD DEAI£RS In the Matter of the Aitoitration Between NajneofClaiinant Henry N. National Asaodatton of S«curitte* DMtorv, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212)858-4389 CASE NO. 91-01597 Advantage Investment Service For Claimant Henry N. Canpbell ("dalnant") : Joseph H. Spiegel, a sole practitioner. For Respccdent Advantage Investment Se

N.A.S.D. AWARD IffiTICNRL ASSQCIXnCN OF SECURITIES DEAXERS In the Matter of the Arbitration Between NaniBof Claimants John H* anr| Josephine C. Hughes Name of Respondents R.J. Steichen & Co., Inc. Patrick P. Kelly 91-01596 JiJL 3 0 ' C For Minnesota* ? Mai i ana Q, HiUce, Esq. of Ldndguist & Vennum, Minneapolis, For Respondent R.J. Steichen & Go. , Inc. : F. diet Taylor, Esq. of Fredericteson & Byron, Minneapolis, Minnesota*

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) William Vogelbaugh 91-01595 Name of Respondent^) Shearson Lehman Hutton, Inc. Michael Bruce Hall Virgil Rorer Joseph A. DelDuca REPRESENTATION For Claimant, William Vogelbaugh ("Vogelbaugh"): Joel Goodman, Esq. of Goodman and Nekvasil, P.A. For Respondents, Shearson Lehman Hutton, Inc. ("Shearson"), Michael Bruce

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William Hamilton Hall and MiekleSyme Hall, Claimants v. Morgan Stanley Dean Witter and Joseph Paul Schlater, Respondents Case Number: 01-01862 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimants: Gary S. Lapidus, Esq. Law Offices of Gary S. Lapidus San Francisco, California For Respondents: Gilbert R. Scrota, Esq. Howard Rice Nemerovski Canady

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Caroline Park Homes Defined Benefit Pension Plan Sommers and Messmer Properties James P. Sommers Robert Messmer Case No. 91-01592 Name of Respondents) Kemper Securities Group, Inc., as successor to Gulfstream Financial Associates, Inc. and Boettcher & Co., Inc. Kemper Securities Group Holdings, Inc. Kemper Financial

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Diana Altwein 91-01586 Name of Respondents Dean Witter Reynolds, Inc. William Katz REPRESENTATION For Claimant, Diana Altwein ("Altwein"): Richard Levenstein, Esq. of Heimberg, Heimberg, Rader, & Levenstein. For Respondents, Dean Witter Reynolds, Inc. ("DWR"), and William Katz ("Katz"): George Sullivan, Esq. of DWR.

N.A.S.D. AWARD NATIONAL ASSCdATICN OF SECDRXTSS DEALERS - In the Matter of the Arbitration Between of Hiram & Henrietta Walker, 91-01584 Name of Respondent (3) Cowies, Sacol & cSpany, Inc., William Sendnario, Jfolly Carol Wilson William Sabol For Claimant: Frederick D. Eh"**!"^, Esq. of HSlsell, Fetteaanan, Martin, Tbdd & Hbkanson For Respondent: Carl J. Carlson, Esq* of Talnadge and Cutler Respondent, Molly Carol Wilson, did not

PBBtlC NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. CASE f91-01582 AKUQX In the Matter of the Arbitration Between Lonnie G. Funderburke Claimant vs. Maione & Associates, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 21, 1992, Claimant Lonnie G. Funderburke who appeared Pro Se, alleged that Richard C. Avon, a registered representative with Respondent Malone & Ass

Arbitration ® National Association of N.A.S.D. AWftKD Securities Dealers, Inc. NASD Financial Center NKTICNAL ASSOCIATION OP SECURITIES DEALERS 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 Iii the Matter of the Arbitration. Between of Claimant Mary K. Britt & Estate of James A. Britt 91-01580 Name of Respondents A.G. Edwards & Sons, Inc. Roger Kreuzer For Claimant: Kent Eldridge, Esq. of the law firm of Kent Eldrid